Month: May 2017

A New York public pension fund was at the center of a pay-to-play scheme uncovered by the SEC. The inquiry ended with charges from the Manhattan U.S. Attorney’s Office against a former managing director of a registered broker-dealer that included …

B/D Executive Pleads Guilty In Bribery Scheme Uncovered by SEC Read More »

Tagged with: , ,

Heading into a long holiday weekend the Chairman continued to fill out the senior staff of the agency. Peter Uhlmann, a staff veteran who has held several senior management positions, was appointed as Managing Executive in the Chairman’s Office. The …

This Week In Securities Litigation (Week ending May 26, 2017) Read More »

Tagged with: , ,